BaFin

Topic Measures Measures and sanctions by BaFin's Securities Supervision Directorate

On its website, BaFin makes public certain measures and sanctions which it has adopted due to contraventions of prohibitions and requirements in the sector of securities supervision or which have been made known to BaFin pursuant to section 335 (1d) of the German Commercial Code (Handelsgesetzbuch – HGB).

Non-anonymised publication

The following table provides a list of all cases of non-anonymised publication.

Anonymised publication

Under certain circumstances measures adopted by BaFin are made public on an anonymised basis. This is the case, for example, if publication would result in disproportionately large damage for the natural or legal person concerned. The following table provides an overview of all cases of anonymised publication:

updated on 07.02.2018

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Publications on this topic

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Wild Bunch AG

On 27 September 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros against Wild Bunch AG.

Elek­trische Licht- und Kraftan­la­gen Ak­tienge­sellschaft: BaFin im­pos­es ad­min­is­tra­tive fine

On 6 February 2018, BaFin imposed an administrative fine amounting to 70,000 euros against Elektrische Licht- und Kraftanlagen Aktiengesellschaft.

BaFin im­pos­es ad­min­is­tra­tive fine

BaFin imposed an administrative fine amounting to 10,000 euros against an individual in a management position of a domestic issuer relating to a breach of section 26a (1) sentence 1 of the German Securities Trading Act (WertpapierhandelsgesetzWpHG) (old version).

WpHG Ad­min­is­tra­tive Fine Guide­line II - new num­ber­ing of Jan­uary 2018

Guidelines on the Imposition of Administrative Fines for Offences relating to the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG) - updated to reflect the new numbering of January 2018

Maier + Part­ner Ak­tienge­sellschaft: BaFin threat­ens co­er­cive fines

On 15 January 2018 BaFin ordered Maier + Partner Aktiengesellschaft to comply with the financial reporting requirements pursuant to sections 37v et seq. (new: sections 114 et seq.) of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatened coercive fines in the amount of EUR 282,500.

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